Donna M. Barth
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Donna Mary Barth, who also goes by Donna Barber, Donna Mary Phelps, Donna Mary Samp, was a registered financial professional .
Donna is a previously registered financial professional and started their career in finance in 1996. Donna had worked at 5 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 29, 2016 - May 5, 2017
FORUM FINANCIAL MANAGEMENT, LP
October 21, 2004 - December 31, 2016
CEDARWINDS INVESTMENT MANAGEMENT, LLC
March 22, 2002 - January 22, 2003
CONTINENTAL CAPITAL INVESTMENT SERVICES, INC.
August 28, 1996 - August 2, 2000
B. C. ZIEGLER AND COMPANY
February 8, 1996 - March 1, 1996
FIRSTAR INVESTMENT SERVICES,INC.
Primary Firm SEC Registration
FORUM FINANCIAL MANAGEMENT, LP
CRD#: 145706 / SEC#: 801-69970
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
FORUM FINANCIAL MANAGEMENT, LP
CRD#: 145706 / SEC#: 801-69970
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 21,456 |
| AUM (Assets Under Management) | $ 9,030,636,924 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/08/2025 | ||
| 12/20/2024 | ||
| 10/19/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
